Program management manual PMM

4 Examples: 1 A former Project Officer is appointed for the first time as a Project Manager within Mercy Corps, managing a new 2 year, $250,000 nutrition project – she has six months fr

Program Management Manual

January 2012

Table of Contents

Chapter 1: Introduction and Contextual Information 3

1.1 Introduction 3

1.2 Certification Requirements for Mercy Corps Program Management Personnel 4

1.3 What is Program Management? 5

1.4 The Program Manager’s Role and Generally-Accepted Knowledge/ Competency Areas 6

Chapter 2: The Program Lifecycle and Minimum Standards Checklist 7

2.1 Definition of Each Phase within Mercy Corps: 7

2.2 Key Aspects of the Program Management Lifecycle at Mercy Corps 8

2.3 Minimum Standards Checklist 8

2.4 Mercy Corps Internal Resources 10

Chapter 3: The Program Identification and Design Phase 11

3.1 Introduction to New Program Development at Mercy Corps 12

3.2 Identification of Program Ideas 13

3.3 Funding Opportunity Analysis 14

3.4 Assessment 15

3.5 Program Analysis 16

3.6 Program Logic 17

3.7 Proposal and Budget Development 18

Chapter 4: The Set Up and Planning Phase 22

4.1 Program File .23

4.2 Stakeholder Management Plan 26

4.3 Program Work Plan 26

4.4 End of Program Transition Plan 28

4.5 Program Technical Requirements and Partnerships Plan 29

4.6 Work Breakdown Structure (WBS) 30

4.7 Team Requirements and Structure 33

4.8 Program Schedule 33

4.9 Program Budget 36

Chapter 5: The Program Implementation Phase 38

5.1 Launching the Program 39

5.2 Managing Program Implementation 40

5.3 Program Tracking and Adjustment 41

5.4 Manage Program Human Resources 43

5.5 Managing Issues 45

5.6 Managing Organizational (Portfolio) Capacities 46

Chapter 6: Monitoring and Evaluation (M&e) 48

6.1 Introduction to M&E at Mercy Corps 49

6.2 M&E in Program Design 50

6.3 M&E at Program Set Up and Planning 50

6.4 M&E at Program Implementation 52

Chapter 7: End-of-program Transition 56

7.1 Types of Program Transitions 57

7.2 Updating and Communicating the End-of-Program Transition Plan 57

7.3 Donor Requirements 61

Annexes 62

Annex 1: Stakeholder Register Template 62

Annex 2: Is / Is Not Matrix 63

Annex 3: Tip Sheet: Creating a Work Breakdown Structure (WBS) 64

Annex 4: Tip Sheet: Creating a Schedule 66

Annex 5: Tip Sheet: Risk Management 69

Annex 6: Example Process: Creating an Activity Budget 70

Annex 7: Sample Kick-Off Meeting Agenda 71

Annex 8: Sample Baseline Schedule Tracking Sheet 72

Annex 9: Program Team Training Needs Assessment Format 73

Annex 10: Program File Contents Checklist 74

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Acronyms and Abbreviations

BVA Budget vs Actuals

CD Country Director

CDP Capacity Development Plan

CoP Chief of Party

CPI Cost Performance Index

CV Curriculum vitae

DM&E Design, Monitoring and Evaluation

DoP Director of Programs

FAM Field Administration Manual

FFM Field Finance Manual

GAIT Grant and Award Information Tracker

GIS Geographic Information System

HF High Frequency

HR Human Resources

ICT Information and Communications Technology

INGO International Non-Governmental Organization

IT Information Technology

M&E Monitoring and Evaluation

MOU Memorandum of Understanding

NCE No Cost Extension

PALM Procurement, Administrative and Logistical Management

PM Program Manager

PMBOK Project Management Body of Knowledge (Guide of the Project Management Institute) PMD Pro Project Management for Development Professionals (guidebook and certification by

PM4NGOs)

PMI Project Management Institute

PMO Program or Project Management Office

PMP Project Management Professional (PMI certification) OR Program Management Plan

(similar to an indicator plan)

POps Program Operations

PRINCE Project Management in Controlled Environments

PWP Program Work Plan

HQ Headquarters

RACI matrix Responsible, Accountable, Consulted & Informed

RFA Request for Applications

RPD Regional Program Director

SoW Scope of Work

SPO Senior Program Officer

SWOT Strengths, Weaknesses, Opportunities & Threats

ToR Terms of Reference

ToT Training of Trainers

TSU Technical Support Unit

VHF Very High Frequency

WBS Work Breakdown Structure

Mercy Corps exists to alleviate suffering, poverty and oppression by helping people build secure, productive and just communities Mercy Corps helps people turn the crises they confront into the opportunities they deserve Driven by local needs, our programs provide communities in the world’s toughest places with the tools and support they need to transform their own lives.

Chapter 1: Introduction and Contextual Information

1.1 Introduction

Why Do We Need the Program Management Manual?

The risks of poor program performance – reduced impact, fraud, reputational damage, lost opportunity – are great Good program management saves time and increases impact and accountability It can free country teams from costly mid-implementation “fixes”; spare us from reinventing the wheel; ease mid-program staff transitions; and liberate time to pursue ideas, innovate and build strategic partnerships Through our programs

we are held accountable to communities, donors and the world

Programs are at the heart of Mercy Corps’ strategy of community-led, market-driven activities in pursuit of our Vision for Change This manual and supportive toolkit on Mercy Corps’ Digital Library are designed to assist our field and headquarters teams and partners to effectively and efficiently manage programs from the Program Identification and Design Phase through the End of Program Transitions

Mercy Corps’ core business consists of designing and implementing programs The Mercy Corps Strategic Roadmap and regional and country strategies link Mercy Corps programs to our Mission to alleviate suffering, poverty and oppression by helping people build secure, productive and just communities across the globe To meet strategic objectives, Mercy Corps pursues contextually appropriate programs, recognizing that sound program design and management are the basic building blocks of successful performance Mercy Corps programs adhere

to principles of accountability, participation and peaceful change, as we believe these principles form the basis for healthy interactions between stakeholders We commit to accountability for what we implement (program design) and how we implement (program management), through transparent, inclusive, disciplined and ethical program management Good program management is about delivery and quality – it is about bridging the gap between strategy and results and ensuring that carefully designed targets are achieved within the time and budget allocated Effective program management is an imperative

The Status of the Program Management Manual within Mercy Corps’ Policy Framework

This manual constitutes a policy, similar to the Field Finance Manual, Field Procurement Manual, or Field Administration

Manual The contents of the Minimum Standards Checklist described in Chapter 2 are required for any program over $250,000 These requirements are supplemented by certain

program management certification requirements, as described in section

1.2 The policy applies to any new programs (starting in Fiscal Year 2013,

from 1 July 2012) that meet the aforementioned criteria This manual provides

resources and instruction for meeting the Minimum Standards as well as

additional recommendations for successful program management

This manual is a supplementary document to A Guide to the Project Management

for Development Professionals (PMD Pro) which clearly explains the definitions,

processes and requirements.1 This manual is designed as a “how to” guide for

program management processes in the Mercy Corps context

The manual is backed by the Program Management Toolkit, which is available

on Mercy Corps’ digital library The Program Management Toolkit provides templates, forms, tip sheets, examples and other tools for the processes and Minimum Standards included within this manual In some cases, chapters are supplemented by templates, forms, or tools, which are also included within the Toolkit and hyperlinked in footnotes

The Toolkit will continue to be developed with new resources as the Program Management Manual is adopted

throughout the agency and should be consulted regularly for the most up to date resources to support program management at Mercy Corps

1 Other widely referenced standards are PMI’s PMBOK: The Guide to the Project Management Body of Knowledge 1 and PRINCE2: Project Management in Controlled Environments 1

Chapter 

Introduction and Contextual Information

Quality Scope

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Chapter 

Introduction and Contextual Information

What is PMD Pro and How Does it Relate to This Manual?

The Guide to PMD Pro provides an introductory, platform-independent exploration of the principles and

terminology of project management within the context of the international development sector The Guidebook was developed through contributions of a variety of international development organizations and with the support

of the Project Management Institute (PMI).2 It is accompanied by a professional certification series

2

Mercy Corps has adopted the PM4NGOs A Guide to the PMD Pro  and certifications as the foundation for Program

Management at Mercy Corps This Mercy Corps Program Management Manual adapts the guidance within PMD Pro to the Mercy Corps environment and is designed to be used in concert with A Guide to the PMD Pro.

1.2 Certification Requirements for Mercy Corps Program Management Personnel

The following certification requirements apply to Mercy Corps team members in positions considered critical for program management success: 456

Any team member holding a Project

Manager, Program Manager, Chief

of Party(CoP) or senior operations

position, as well as Country

Directors

first relevant position with Mercy Corps4

Any team member working as a

Project Manager, Program Manager,

Program Director, Head of Office,

Chief of Party for a program

exceeding US$1 million in value;

any Director of Programs

PMI’s “PMP” (Project Management

Professional) certification -or-

PRINCE2’s Practitioner Certification;

PMD Pro2 and PMD Pro3 certifications5, which first require PMI or PRINCE2 certifications, are optional

Within 18 months of assuming the first relevant position within Mercy Corps6

2 PMI is cross-disciplinary not-for-profit membership association for the project management profession which has developed recognized standards and credentials for project management

globally-3 Please refer to http://ngolearning.org/pm4ngos/pages/PMD%20Pro1%20Prep.aspx for details PMD Pro consists of a guidebook and professional certifications, which aim to optimize international NGO project investments by enabling project managers to be reflective, professional practitioners who learn, operate and adapt effectively in complex project environments.

4 Examples: 1) A former Project Officer is appointed for the first time as a Project Manager within Mercy Corps, managing a new 2 year,

$250,000 nutrition project – she has six months from the day of her appointment as Project Manager to complete the PMDPro1 certification; 2) a new team member, who has several years of program management experience with other agencies but is not certified, joins

Mercy Corps as a Program Manager of an 18-month, $750,000 market development project – he has six months from the day he joins Mercy Corps to complete the PMDPro1 certification.

5 At the release of this manual, PMD Pro certification is available from PM4NGOs at level one which tests knowledge and comprehension of the project management concepts Level two will test the candidate’s ability to analyze, apply and adapt these concepts and is anticipated for release during the first quarter of 2012 Level 3 is expected to follow.

6 Examples: 1) An experienced, but uncertified, team member is appointed as a Program Manager for a 3-year, $15 million food security project – she has eighteen months to obtain either a PMP certification from Project Management Institute (PMI) or a PRINCE2 Practitioner certification from PRINCE2 (PRojects IN Controlled Environments) Thereafter, it is her decision whether or not to pursue a PMDPro2 and/ or PMDPro3 certification, which requires PMP or PRINCE2 qualifications as a pre-requisite 2) A first-time Director of Programs is appointed for a country portfolio with an annual value of $4 million – he has eighteen months to obtain either PMP or a PRINCE2 Practitioner certification, after which time pursuit of a PMDPro2 or PMDPro3 certification is optional.

Chapter 

Mercy Corps’ Commitment to Local Partnership

1.3 What is Program Management?

What is Program Management?

“Program Management” refers to the process of applying skills, knowledge and tools to identify requirements, address needs, incorporate the concerns of stakeholders, and balance the competing demands of time, cost, and scope (sometimes called the “triple constraint”) to achieve incremental benefits through the integrated management

of multiple projects, each of which is designed to produce a unique product, service, or result

Program management is different from “business processes,” which refer to ongoing operations, such as accounting, fleet management, recruiting, office management, procurement, representation and similar Good “business processes” should be applied to operations, often in support of a portfolio of strategy and programs, while good

“program management” should be applied to programs These are distinct, but highly complementary practices

Why Does this Manual Use “Program” Instead of “Project”?

Many of the processes described in this manual apply to “projects” as described in various “project management” literature and global standards.7 However, Mercy Corps – and other International Non-Governmental Organizations (INGOs) – most often refer to our initiatives as “programs,” and we use the title “Program Manager” for the managers

of these initiatives This manual primarily uses the term “program,” as individual grants or cost centers at Mercy Corps most often encompass a “program” or collection of projects managed together to bring about incremental benefits The Minimum Standards presented in Chapter 2 are required at the “program” level The processes outlined in this manual and in PMD Pro may be applied at both the program level and to the component projects within

Global Standard Terminology Mercy Corps Context

Project A project is defined as a “temporary endeavor

undertaken to produce a unique product, service, or result.” “Project management”

refers to the practice of planning, organizing, and managing resources to bring about the delivery of goals, outcomes, and objectives

The unique products, services, or results that collectively make up a program At the discretion of the Project Management Office, the policies in this manual may also apply to individual projects within the program

Program A program consists of multiple projects

that are managed together to bring about incremental benefits “Program management”

processes are quite similar to project management processes, but program management also concerns itself with the integration of more than one project into a cohesive effort that achieves “incremental benefits.”

One or more awards or interventions with

a common purpose, to which a single manager is assigned The policies in this manual fundamentally apply to the level

at which a single Program Manager is assigned; in the Mercy Corps context, this person might be called a “Project Manager,”

“Program Manager,” “Program Director,” or

“Chief of Party.”

Portfolio A portfolio is a collection of projects,

programs, and other work (business processes, or operations) that are grouped together to achieve strategic objectives

A Mercy Corps country portfolio or headquarters business unit

The “Director of Programs” function and his/ her team, or equivalent (“Head of Department”) In some cases different titles, such as “Program Coordinator,” are used

At times, the Country Director, Country Representative or equivalent may also fill this function

7 The term “global standards” is used throughout this manual as a catch-all phrase to encompass Project Management Institute (PMI) tools, including but not limited to the Project Management Body of Knowledge (PMBOK); Project Management in Controlled Environments (PRINCE2) tools; and, Project Management for Development Professionals (PMD Pro) tools.

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Chapter 

Mercy Corps’ Commitment to Local Partnership

Examples of Portfolios, Programs and Projects at Mercy Corps are depicted in the table below:

Portfolio Mercy Corps Ethiopia

Program Revitalizing Agricultural/ Pastoral Incomes

and New Markets (RAIN) Processes in this manual are recommended; processes on Minimum Standards Checklist

are required

Manager

Assigned Chief of Party (CoP) CoP is ultimately accountable for ensuring that the policy requirements are fulfilled

Project(s) – Training of Selected Farmers in High

Impact Crop Production Technology – Collective farmer marketing of crops– Linking farmers to financial services

At the discretion of the CoP and PMO, the processes in this manual may be applied to these projects, or may apply to the program level only

The required Program Manager competencies include:

Chapter 

The Program Lifecycle and Minimum Standards Checklist

Chapter 2: The Program Lifecycle and Minimum Standards

Checklist

Many NGOs have developed models that outline their interpretation of the lifecycle of their programs Mercy Corps’ model is based on the model used by PMD Pro Mercy Corps has slightly adapted the PMD Pro model by combining two phases (Program Set Up and Program Planning) into one phase (Program Set Up and Planning) and defining Monitoring and Evaluation as a process spanning all phases (see Chapter 6) At Mercy Corps, and throughout this manual, we present the four distinct phases and the M&E Process Use of this terminology provides a common reference point within Mercy Corps when discussing programs with management, operations and finance staff, and within the program team

Every program has a definite start date and end date, yet the specific activities and deliverables that take place in between vary from one program to the next The Program Lifecycle serves as a framework that helps to:8

• Define the phases that connect the program from beginning to end

• Identify the processes that teams must implement as they move through the phases of the program lifecycle

• Illustrate how the program management lifecycle can be used to model the management of programs

• Model how programs work within an environment of constraints, where changes to any one constraint will result

in consequential changes to the other parameters

Program Identification and Design

Planning Implementation

Monitoring & Evaluation

End of Program Transition

Decision Gate

Program Set Up

Adapted from PMD Pro – which is adapted from the Project Management Institute’s

(PMI) Project Management Body of Knowledge (PMBOK) Guide.

2.1 Definition of Each Phase within Mercy Corps:

Program phases are convenient divisions within a program lifecycle where primary work focus changes This often involves different partners or stakeholders and different skill sets Persons responsible for management of the program may be different at different phases Minimum Standards within Mercy Corps require the completion of certain tasks during each phase as per the Minimum Standards Checklist The Minimum Standards for each phase also appear at the beginning of each phase’s chapter within this manual Deliverables and processes required for each phase are described in detail in the relevant chapters of this manual

• Program Identification and Design: During this phase, teams and stakeholders work together to identify

program ideas; collect assessment data; analyze the assessment data; develop the program logic; create proposals or preliminary program scope statements with summary budgets and high level program plans

• Program Set Up and Planning: During this phase, the Program Work Plan is prepared The Program Work

Plan is a map of the program, identifying the detailed activities, budget and the schedule required to deliver the direct program results

8 A Guide to PMD Pro.

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Chapter 

The Program Lifecycle and Minimum Standards Checklist

• Program Implementation: During this phase, the program is launched and implementation takes place

Program launch involves setting up the basic program files, team structure and communicating the work plan Implementation involves managing, adjusting and tracking activities, communications, quality, risk, organizational capacity and coordinating the roles and responsibilities of stakeholders

• Monitoring and Evaluation (M&E) Process: Throughout a program, it is monitored and evaluated as

necessary Processes conducted as part of M&E compare program performance to the original proposal objectives and indicators, as well as to the Program Work Plan Variances found against plans allow for adjustment during any phase of the lifecycle of the program

• End-of-Program Transition: During this phase, the end of program transition strategy as articulated in the

Program Work Plan is updated and executed, while “final 90 days” and other close-out and transitional processes are carried out

2.2 Key Aspects of the Program Management Lifecycle at Mercy Corps

• Mercy Corps encourages a balanced approach towards each phase Though not equal in their duration nor resource requirements, each phase is important and adequate time and resources should be allocated for every phase

• Phases are not always linear: phases overlap, are at times integrated, and are often iterative Each program is different It is often common to start two phases simultaneously For example implementation of a previously planned community assessment may be initiated as the detailed planning starts on a separate aspect of the program

• As depicted in the diagram, the ‘planning’ components of Program Set Up and Planning phase are in a continuous, iterative loop with the Program Implementation phase This is what is sometimes referred to as “progressive elaboration” in project and program management standards

• The processes in all other phases are continually reinforced and assessed through monitoring & evaluation Information gathered via monitoring should be applied to inform planning and future decision-making

! 2.3 Minimum Standards Checklist

These Minimum Standards represent a requirement for programs with budgets of $250,000 and over Standards for programs with budgets less than $250,000 are at the discretion of the portfolio manager The Minimum Standards must be applied at the program level (the point at which a single Program Manager is assigned), but can also be applied at the project level within larger programs

Mercy Corps’ Program Management Manual is intended to aid program teams to be responsive to changes in their

context and proactive in ensuring programs remain on track and relevant While the Minimum Standards outlined below must be honored, some of the required standards will be met in different ways for programs of varying size, urgency and complexity Program Managers and their supervisors should use sound judgment to determine how each minimum standard will be met within a particular program Challenging environments demand flexibility, ingenuity and patience in addition to sound program designs, carefully developed program work-plans, and quality execution

This list of Minimum Standards corresponds to the chapters of this manual More information for each of these standards can be found within the corresponding chapter These are necessary steps within Mercy Corps’ program management framework

Minimum Standards Checklist

Program Identification and Design (Chapter 3)

A Written assessment or problem analysis exists, based on primary or secondary data (note: this can be

contained in the proposal documentation, or can be a separate assessment document)

B A list of external stakeholders participating in initial consultations is available

C Program Logical Framework exists

D Lead designer has checked for lessons learned from similar programs globally

E Program proposal with summary budget (sometimes called preliminary program scope statement)

exists

Chapter 

The Program Lifecycle and Minimum Standards Checklist

Set Up and Planning (Chapter 4)

A Program File is created

B Program Work Plan (PWP), exists, with the following minimum contents:

C Key program parameters, coming from preliminary program documents

D Work Breakdown Structure (WBS)

E Program Schedule

F Coded Program Budget

G End-of-Program Transition Plan

H Technical, Cross-cutting Theme, and Sub-grant/ Partnership Planning is conducted Supply Chain and

Contracting, Personnel, Operations and Security Planning is conducted

I Program Organizational Chart exists

Implementation (Chapter 5)

A Program Work Plan (PWP) is approved and regularly updated

B Program Kick-Off Meeting is conducted, and minutes are available

C Program Team Coordination Meetings take place at least once per quarter with documented minutes

D Program progress reports (narrative and financial) exist and include progress toward indicator targets

E Scheduled and ad hoc reports and updates are communicated to stakeholders

F Actual Program Schedule (within PWP) is updated against the Baseline Schedule by Program Manager

and submitted to supervisor on a monthly basis

G Descriptions of deliverables exist, and quality assurance checks are carried out at least twice per

program year

H Budget vs Actual reports for the Program Budget are prepared monthly, and projections against the

Program Budget are prepared quarterly

I Program Team receives copies of, and is oriented on: Proposal & Logical Framework, M&E plan,

Program Work Plan, Kick-Off Meeting minutes and relevant parts of the Program Budget and Grant Agreement Program Team is oriented on administration and finance procedures (FAM, FFM, FPM), and roles & responsibilities for contractors and partners

J Program Team is recruited; roles, responsibilities, and required skills have been articulated; Position

Descriptions exist; Training Needs Assessment is carried out

K Program Team member performance is assessed and documented by Program Manager within three

months of program start, and annually thereafter

Monitoring & Evaluation (Chapter 6)

A Indicator Plan exists (Planning Phase)

B Key program M&E events (at a minimum, baseline, evaluation, and routine monitoring) have been carried

out, and reports of these events exist (Implementation Phase)

C Basic M&E data management system exists (Implementation Phase)

D Final Evaluation report exists (Implementation Phase)

End-of-Program Transition (Chapter 7)

A Written End-of-Program Transition Plan exists

B “Final 90 day” meeting has taken place, and minutes exist

C Contract/ sub-grantee status reviewed and finalization plans specified

D Deliverables to be transitioned to external stakeholders have been handed over, and handover

documentation exists

E Lessons learned have been documented, and have been sent to the Senior Program Officer (SPO) and

Technical Support Unit (TSU)

F End-of-Program Transition has been clearly communicated to the Program Team, beneficiaries, host

government counterparts, and partners

G Program File is complete

H Final report is completed and donor close-out requirements are met

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Chapter 

The Program Lifecycle and Minimum Standards Checklist

2.4 Mercy Corps Internal Resources

Mercy Corps has field-tested tools and policies that can be useful resources during each phase of the Program Lifecycle and with the required Minimum Standards Many such tools are referred to throughout this manual and have been compiled into the Program Management Tool Kit which is available within Mercy Corps’ Digital Library

In addition to the in-county teams, the Program Management, Technical Support Unit, Program Operations (POps), Design, Monitoring and Evaluation, Leadership and Organizational Effectiveness, Strategic Response and Global Emergencies (SRGE), Operations and Procurement, Administrative and Logistical Management (PALM) teams within Mercy Corps’ global structure are valuable human resources that field teams can and should consult with for additional guidance

Chapter 

The Program Identification and Design Phase

Chapter 3: The Program Identification and Design Phase

Matrix

T

Proposal Tool Kit: Assessment Tools

T

VENN Diagram and Stakeholder Analysis Matrix

T

SWOT Analysis Problem Tree and Solution Ranking

T

DM&E Tip Sheet

#11: Data Analysis

T

DM&E Guidebook and Online Training

T

Logical Framework Template and Indicator Menus

T

Mission Metrics Indicator Guidelines

T

Proposal Tool Kit

T

Proposal Development Minimum Standards

T

Budgeting Guide

T

Proposal Composition Guide

OProgram

Logical Framework

OWritten

Assessment

or Problem Analysis

OList of

External Stakeholders Consulted

Analyze ProgramDevelop

S Process Step T Tool O Output or Product Minimum Standards are Red Italic

Program Identification and Design

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Chapter 

The Program Identification and Design Phase

Minimum Standards for the Program Identification and Design Phase:

Written assessment or problem analysis exists, based on primary or secondary data (note: this can be

contained in the proposal documentation, or can be a separate assessment document) (see 3.4)

A list of external stakeholders participating in initial consultations is available (see 3.4)

Program logical framework exists (see 3.6)

Lead designer has checked for best practices and lessons learned from similar programs globally (see 3.6) Program proposal with summary budget (sometimes called preliminary program scope statement) exists (see 3.7)

About This Chapter

Program Identification and Design is the first phase of the Program Life Cycle in which Mercy Corps teams and stakeholders work together This chapter describes the key steps of Program Identification and Design that can help to ensure good programmatic results These are described below, divided into the following categories: 3.1) Introduction to New Program Development at Mercy Corps; 3.2) Identification of Program Ideas; 3.3) Funding Opportunity Analysis; 3.4) Assessment; 3.5) Analysis; 3.6) Program Logic; and, 3.7) Proposal and Budget Development

3.1 Introduction to New Program Development at Mercy Corps

New programs can be developed through existing teams discovering new needs or a response to a Request for Application or Call for Proposals The process steps of Program Identification and Design that lead to a proposal or preliminary program scope statement9 are iterative, and in many cases overlapping The order depicted in the Chapter

3 diagram represents one of many sequences for how the process flows, which will vary based on a program’s identification and design needs The level of time and effort required to complete each phase of the process will also vary depending on the size and complexity of the program being identified and designed An important aspect of each phase described below is consultation with stakeholders, which is critical to ensuring the suitability and viability

of program ideas and the support of those to be engaged and affected by the program’s outcomes

Resources available

This manual introduces a range of tools to support simple to more complex forms of Program Identification and Design, noting the Minimum Standards for the Program Identification and Design phase Mercy Corps’ New Initiatives team has created a Proposal Tool Kit10, including Mercy Corps’ Proposal Development Minimum Standards11, Proposal Pre-Positioning Overview and Tools12 and the Proposal Composition Guide13, which are available on the Digital Library and include details and tools for many of the processes within Program Identification and Design, and in particular the Proposal and Budget Development process

9 A preliminary program scope statement details a program’s activities in a manner similar to a basic proposal and is required in instances in which a program proposal has not been developed.

10 Proposal Tool Kit: https://mcdl.mercycorps.org/gsdl/cgi-bin/library?a=p&p=ptk

11 Proposal Development Minimum Standards: https://mcdl.mercycorps.org/gsdl/cgi-

Chapter 

The Program Identification and Design Phase

3.2 Identification of Program Ideas

Needs Identification & Alignment

The process of identifying a program idea begins with the identification of needs and opportunities In the case of

a country in which Mercy Corps has existing programs this is often done through periodic reviews of the existing country or regional portfolio and strategic plan This process often reveals areas of need outside the scope of the existing portfolio or opportunities for complementary work that can contribute to related objectives Any newly identified needs and opportunities should be reviewed and further formalized when carrying out a country’s annual planning process or other complementary strategic planning processes In the case of a prospective country in which Mercy Corps is considering developing new programs, an initial assessment visit to gather information about needs, existing activities and capacities, donor interests, etc is important for informing program idea identification.Input and participation from a variety of stakeholders – such as community leaders, local organizations, donors and government officials - helps to determine new program ideas that are well targeted, viable and have community support Clearly demonstrating input and active participation of a variety of stakeholders, including beneficiary communities and local partners in particular, can also be critical criteria of donors in the assessment of proposals

Local Partnerships: A Guide for Partnering with Civil Society, Business, and Government Groups is a helpful tool

for identifying and building promising partnerships, beginning with identification of program ideas and continuing through all phases of program management Tools that can be useful for analyzing stakeholder information include a Strengths, Weaknesses, Opportunities and Threats (SWOT) analysis, a Venn diagram and a Stakeholder Analysis Examples of these tools can be found in the Overview of Strategic Planning Tools and Techniques14 document, page

10 of the DM&E Guidebook15, page 17 of A Guide to the PMD Pro and on the Digital Library Such tools are useful

in narrowing focus to where there is an intersection between existing assets in the target community, unmet needs, donor interests and Mercy Corps’ unique capabilities, and then prioritizing such intersections so that new program ideas are strategic and focused in areas having the greatest chances of success The table below highlights things that are important to consider when looking for intersecting points of opportunity

Points of Alignment

Agency Mission Statement

(see Mission Metrics)

Vision for Change Strategic Roadmap Relevant Regional Strategy

Country

Specific Country Program Goal and

Objectives)

Existing Geographic Concentrations

Existing country Core Competencies16

In-Programming Principles17 Local capacity

& Partnership Opportunities

In addition, the Proposal Pre-Positioning Overview and Tools can help in preparing to pursue funding as program ideas are identified Positioning strategies promote the agency’s relevant strengths, diminish perceived weaknesses, and assist in assembling a strong future proposal 16 17

14 Overview of Strategic Planning Tools and Techniques: https://mcdl.mercycorps.org/gsdl/cgi-

bin/library?e=d-000-00 -0agency 00-0-0 0prompt-10 -4 -0-1l 1-en-9999 -20-mchome -00031-011-0-0utfZz-8-00&a=d&c=agen cy&cl=CL1.1.2.4.3.3&d=HASHc1783b3c70e610d82db3cf

15 DM&E Guidebook: https://mcdl.mercycorps.org/gsdl/docs/DM-E FINAL Guidebook 3final.pdf

16 Core competencies are sectors in which a country program has programming experience and expertise

17 Principles are the fundamental ways a country program has committed to working, for example using technology, in partnership with the private sector, using advocacy, etc.

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Stakeholders

Stakeholders are persons or organizations whether in the public, private or civil sector, whose interests may

be positively or negatively affected by Mercy Corps’ decisions, actions and ensuing results Stakeholders can

be both internal and external to Mercy Corps Examples of stakeholders include: Mercy Corps team members, community groups, households, donors, the private sector, host country government, media, partners, and colleague agencies In a program context, stakeholders are persons or organizations that are actively involved in the program and whose interests may be positively or negatively affected by the performance or completion of the program Stakeholders may have very different interests, capacity and influence based on gender and power relationships in the community18 Each program phase and/or sub-project may include unique stakeholders, and

it is the responsibility of the Program Manager and PMO to identify the stakeholders at each phase, communicate their anticipated level of participation and/or responsibility and manage expectations19

3.3 Funding Opportunity Analysis 18 19

Responding to a Request for Applications (RFA)/Call for Proposals

The issuance of a call for proposals from a donor can trigger new program idea identification, or the refinement of

an existing program idea Having advance knowledge of such funding opportunities and acting on it (see guidance offered in the Proposal Pre-positioning Overview and Tools), greatly improves the quality and competitiveness of a program design and proposal In anticipation of, or upon release of a call for proposals, a funding opportunity should immediately be evaluated to determine if it is an appropriate mechanism for realizing an identified program idea and that the necessary resources for doing so are available The Prompting Questions to Analyze Funding Opportunities20

can help in carrying out this evaluation Should a decision be made to pursue the funding opportunity, the subsequent processes of program design should be carried out

Decision Gates

The discovery and development of a new program is time and resource intensive Due to a variety of constraints not all new ideas will be developed into new programs In order to track and determine feasibility and pursuit of a new opportunity, a program idea will typically go through a set of decision gates

Mercy Corps Decision Gates for New Program Development

The decision to pursue a new program opportunity or not almost always comes down to a balancing of resources required and the probability for success of one opportunity, versus competing agency priorities and other funding

or programming opportunities While developing a new program does not always include developing a proposal for a donor, developing new program opportunities always requires human and financial resources, so resource allocation decisions must be made To the extent that a country team (Portfolio Management) possesses capacity to pursue a new program opportunity without significant external support, the decision to pursue or not resides within the management structure of the country team, inclusive of the Regional Program Director (RPD) To ensure the country implementation team has a viable strategy for meeting necessary requirements, programs with co-financing requirements and sub-contracts must be approved prior to proposal submission by the Senior Vice President of Programs and the Chief Financial Officer, and in the case of Scotland office supported programs, the Deputy Executive Director

In instances - such as large and highly competitive donor solicitations - where a Mercy Corps response requires several additional dedicated proposal developers (i.e TSU) to be competitive, additional buy-in and support from headquarters management is necessary Requests for additional support should be communicated through the Regional Program Director, keeping the Program Operations team informed Final decisions about how such additional resources are assigned ultimately will involve the RPD, the Senior Vice President for Programs and the Vice President for Strategic Development The Program Operations team often helps with facilitating this decision

18 Mercy Corps’ “Gender Policy Procedures” is under development as of the release of this manual and is expected to be available on Mercy Corps’ Digital Library in early 2012.

19 PMBOK, page 23, Chapter 2.

20 Prompting Questions to Analyze Funding Opportunities: https://mcdl.mercycorps.org/gsdl/cgi-

bin/library?a=q&r=1&hs=1&c=progdev&h=dtt&t=0&q=prompting

Chapter 

The Program Identification and Design Phase

Chapter 

The Program Identification and Design Phase

making and also provides other key support to proposal development, which may include facilitating headquarters’ technical and cost proposal reviews, writing proposal sections or leading proposal development

Identification of External Stakeholders Holding Authority over Go/ No-go Decisions

While in most cases the go/ no-go decision resides primarily within Mercy Corps, there are instances where external stakeholders or factors can dictate whether or not Mercy Corps is able to effectively fulfill the role defined under a programming opportunity Factors potentially impacting our ability to pursue a funding opportunity include:

• Political restrictions or limitations on NGOs working in the target region / country

• Mercy Corps’ credibility and reputation with local government or beneficiary communities

• Mercy Corps’ ability to forge vital win-win partnerships with other key local and international organizations operating in the same programmatic space

• Requirements for co-financing or match funding for a program and the need for commitments from external sources prior to proposal submission

In every instance, efforts should be made early to map out areas where support from external actors is required to avoid investment of significant agency resources in vain

3.4 Assessment

Effective program designs are preceded by the identification

of unmet needs, understanding of root causes leading to the

identified problems, and identification of the causal relationships

that lead to these problems The proposal lead must also be

aware of capacities and lessons learned from similar programming

Needs analysis should be carried out in consultation with

local stakeholders and include an identification of what assets

exist within the target community and what relevant unique

capabilities Mercy Corps can offer, while also factoring in donor

interests Development of a new program idea typically follows

an analytical process of assessment (data collection), program

analysis (problem and objectives analysis), and ends in program logic (logframe) Proper analysis enables a team to understand and communicate the high-level constraints and requirements of the new program The existence of a written assessment or problem analysis, based on primary or secondary data is a Minimum Standard for Program Management at Mercy Corps. The next few sections describe this process

What and Why

An assessment to inform the development of a new program can vary in its scope depending on what information is already on hand, the amount of time available for gathering information, and the availability of resources for conducting assessment activities

As noted in the A Guide to the PMD Pro21, an assessment should gather a broad range of information about needs that either confirms the suitability of the initial project idea or points to adjustments that should be made This information will be considered in the following analysis phase of developing a project idea Upon completion of the assessment, a summary of information gathered must be on record and may be incorporated into the proposal document

Scope of Work and Selection of Methodology

A Scope of Work (SoW) for an assessment should state its purpose and what questions it aims to answer The Info Needs Matrix (Sample can be found in the Program Management Tool Kit on the Digital Library) can be used

to identify information requirements, and Annex 5 of the Psychosocial Needs Assessment done in Gaza in 201022 contains an example of a detailed SoW, appropriate for a more complex assessment A SoW should identify key

21 Section 2: Chapter 1, page 14

22 Psychosocial Needs Assessment done in Gaza in 2010: https://mcdl.mercycorps.org/gsdl/cgi-

bin/library?a=q&r=1&hs=1&t=0&c=all&h=dtt&q=gaza+psychosocial+assessment

An assessment should not be confused with

a baseline survey An assessment is broad reaching, gathering data on needs from a variety of stakeholders during the Program Identification and Design phase For further details on baseline surveys, which pertain to the Monitoring and Evaluation Process, see

Chapter 6

An assessment should not be confused with

a baseline survey An assessment is broad reaching, gathering data on needs from a variety of stakeholders during the Program Identification and Design phase For further details on baseline surveys, which pertain to the Monitoring and Evaluation Process, see

Chapter 6

 < Table of Contents

stakeholders to consult with and methods to be used in gathering data If responding to a donor solicitation, the RFA or Call for Proposals should also be consulted when identifying the type of information needed For unsolicited proposals, brainstorming around the initial idea can generate a list of data to collect that will better define the needs, constraints and opportunities Most assessments use a variety of methods which include secondary research, key informant interviews, surveys and focus group discussions

The specific information to be gathered will vary from and depend on the targeted sector(s) PMD Pro references several tools that can be used for assessments23 as does the Mercy Corps Assessment Tools24 section of the Digital Library, which contains a variety of survey tool examples for various sectors The relevant TSU technical team(s) can provide useful input and recommendations for the most useful tools in designing the assessment

Engagement of Target Community and Partners

Target community and local private, public and/or civil society partners’ input into an assessment verifies an accurate understanding of local needs, constraints and opportunities Involving these stakeholders also provides an opportunity

to empower local actors and create ownership of the program’s benefits It is important to consider gender and power dynamics in communities when using participatory methods For example, in order to ensure full community participation, separate male/female information gathering sessions may be required There are a variety of assessment tools that facilitate the target community’s participation in the process such as focus group discussions, household surveys and key informant interviews Local partners can often facilitate access to marginalized stakeholders when access is difficult and help to expand assessment efforts Efforts should be made to ensure that methods used adequately solicit input from groups frequently marginalized in communities, such as youth, women, persons with disabilities, etc These stakeholder consultations must be documented to facilitate future contact by the Program Implementation team as a Minimum Standard for Program Management at Mercy Corps.

One format for documenting this information is to utilize the Assessment Contacts Documentation Tool26

3.5 Program Analysis

Tools for Analysis

There are a variety of tools that can be used to understand, synthesize and analyze data gathered through assessments and desk research In addition to the analysis tools referenced in PMD Pro, Mercy Corps’ ASSETS Guidebook27 contains additional tools as well as further instructions for applying some of the PMD Pro referenced tools, including: the Problem Tree, Solution Ranking, SWOT Analysis and the Venn Diagram The DM&E Tip Sheet

#11: Data Analysis28, is a helpful resource for analyzing primary data As noted in PMD Pro, selecting the right tool will depend on the objective of the analysis, the type of data collected, and the person(s) carrying out the analysis

23 Section 2: Chapter 1, page 16

24 Mercy Corps Assessment Tools: https://mcdl.mercycorps.org/gsdl/cgi-

bin/library?e=d-000-00 -0progdev 00-0-0 0prompt-10 -4 -0-1l 1-en-9999 -20-mchome -00031-011-0-0utfZz-8-00&a=d&gc=2& cl=CL1.2.1#CL1.2.1

25 Proposal Pre-positioning Overview and Tools: https://mcdl.mercycorps.org/gsdl/cgi-

Categories of Analysis

Ultimately the analysis process should lead to a goal statement for the project that in some way addresses the

root causes of the problem In determining the goal statement, a variety of factors should be considered that inform the project’s scope These include:

Stakeholders:

PMD Pro summarizes the

key points to consider

when identifying

stakeholders; analyzing

their interests and

mapping stakeholder

influence A mapping tool,

such as the Venn Diagram

can help in understanding

various interests and

their relevance to

addressing the identified

problem Don’t forget to

disaggregate quantitative

data by gender and age

during the assessment

and analysis processes

Existing Priorities:

Local stakeholder priorities will impact the feasibility of various interventions Important to consider are those needs deemed most critical by the target community, as well as what the local government

or other relevant agencies intend to focus on Similarly, Mercy Corps’

global priorities, regional and country strategies and organizational capacities should be factored into the analysis, along with key Mercy Corps design factors such as the facilitation of public, private, and civic sector partnerships, and the promotion of community-led, market-driven approaches

Proposal Parameters:

When responding

to a Request for Applications or Call for Proposals there are often areas of focus specified by the donor that must

be taken into account and which will often dictate the types of underlying issues the project must address

Feasibility:

In looking at root causes of problems and considering ways to address them it is important

to keep in mind what

is feasible, financially and technically, as well as consider the potential for sustainability and the environmental impact

of approaches being considered

3.6 Program Logic

Upon gathering assessment information and analyzing the data, the development of the program logic leading to

a Logical Framework (logframe) will follow This is a principle tool that provides a framework from which to start planning a program (outputs, schedule, and budget) The existence of a program Logical Framework is a Minimum Standard for Program Management at Mercy Corps.

Developing a Logical Framework, or Logframe

As noted in PMD Pro, the formats used for logframes vary but have a common intent in serving as the basis for reflecting all the major steps in the life of a project or program and ensuring that each is logically connected Mercy Corps has a standard logframe template29, that can be used when no other format is specified by a donor However, alternative logframe formats can be used as per the donor requirements Other donor templates30 are posted on the Digital Library

Identify Program Goal, Objectives, Outputs, Activities

and Indicators31

The Fundamentals of Project Design chapter of the Design Monitoring

& Evaluation Guidebook32 details the process, with illustrative examples,

for taking a goal-oriented approach to designing a program It begins

(following the assessment work described above) with determining the

desired impact of the program, which addresses the root cause(s) of

an identified problem This leads to the program’s Goal Next, the key

changes required in the target population in order to achieve that impact

are identified, which become the program’s Objectives Subsequently,

29 Mercy Corps standard logframe template: https://mcdl.mercycorps.org/gsdl/cgi-

32 Design, Monitoring and Evaluation Guidebook: https://mcdl.mercycorps.org/gsdl/cgi-

bin/library?a=q&r=1&hs=1&c=progdev&h=dtt&t=0&q=DME+guidebook

SMART Objectives

To ensure its clear when an objective

is successfully achieved it is important for all objectives to be SMART:

Specific Measureable Achievable Relevant Time-bound

SMART Objectives

To ensure its clear when an objective

is successfully achieved it is important for all objectives to be SMART:

Specific Measureable Achievable Relevant Time-bound

Chapter 

The Program Identification and Design Phase

 < Table of Contents

the program designer will need to determine what goods and services are needed to bring about these changes, these are the program Outputs Finally, the actual Activities to be carried out in order to produce the required outputs need to be determined Once these aspects of the program are clear, Indicators that measure the program’s

success must be selected A Design Checklist in the DM&E Guidebook is a good reference, reflecting best practices

for preparing a program logframe

Efforts should be made at this phase to select indicators that can be aligned with Mission Metrics33, Mercy Corps’ system to measure macro-level results, to track progress against our mission

As an intermediary step, particularly should the initial formulation of a program design precede the release of a solicited Request for Applications, and as the details for determining specific Activities and Outputs are still being determined, a Results Framework can help in starting to form the Project Logic34

Consult with Relevant TSU and Program Support Teams (sector specialist, DM&E,

New Initiatives, etc.)

The proposal lead must also ensure that they consult relevant Mercy Corps resources and team members (Digital Library, TSU, POps) to ascertain any lessons learned from similar past Mercy Corps programming Reviewing lessons learned and best practices is a Minimum Standard in designing program logic, because it prevents a situation in which Mercy Corps team members ‘reinvent the wheel’ unnecessarily The relevant sector specialists in the TSU and DM&E team can offer useful resources and guidance as a logframe is developed It is often useful to work with the designated POps Program Officer to identify appropriate sector specialists that can support this review Sector specialists are aware of research done in the sector to identify best practices as well as lessons learned from other projects implemented by Mercy Corps This can lead to useful information regarding approaches that have and have not proven successful They are also aware of standard indicators for a sector that can lead to the selection of appropriate indicators for the program In addition, the DM&E team’s review of the logframe can provide feedback on the logic of the design and the appropriateness of the identified indicators

To benefit from this support it is recommended that those developing a program communicate the anticipated technical needs with their HQ program officer(s) who can contact relevant members of the TSU early in the design phase, requesting that they set aside time to help in the development and/or review of a logframe and, subsequently the proposal

3.7 Proposal and Budget Development

When a Call for Proposal is being responded to, much of the work described above may already be done or may need to occur in addition to responding to the solicitation This next section describes the specifics of developing the proposal

Making a Proposal or Scope Statement Development Plan

The amount of effort involved in the preparation of a proposal will vary depending on its size and the requirements of

a donor Typically the process involves a number of tasks that need to be accomplished in a short amount of time by a team of individuals contributing different parts to the overall final documents In order for this to be done successfully the process needs to be well organized from the start The following are key steps towards getting organized, spelled out in Mercy Corps’ Proposal Development Minimum Standards35, and which have tools on the Digital Library to help

in carrying them out The size of the effort required will dictate how complex the planning process needs to be, but all proposal development should start out with at least a simple plan:

• Assemble a proposal development team and assign roles and responsibilities The Proposal Team: Roles and Responsibilities36 document lists common functions that the Proposal Team Leader, HQ Program Officer and Country Director (or other relevant Portfolio Manager) should review upon deciding to prepare a proposal, determine which are of relevance and assign responsible parties

33 Mission Metrics Indicator Guidelines: https://mcdl.mercycorps.org/gsdl/cgi-

• Prepare a proposal development plan37 that indicates an overall calendar and all the tasks necessary for completing the proposal, due dates and the person(s) responsible – this is usually done by the Proposal Team Leader and will often include activities described above (assessment, analysis, etc).

• Have a kick-off call with the team to review the proposal development plan, specific tasks and work assignments

A sample agenda for such a call can be found in the Proposal Tool Kit of the Digital Library38

Proposal Development Team Members

Proposal and/or program scope statement development must involve a team comprised of the right mix of individuals familiar with the existing country program, local needs and capacities, relevant technical area(s), finance and donor requirements Who these individuals are and how many are involved will vary from one proposal to another depending

on its size, its strategic importance, the complexity of the program being designed and the resources available at a given time

At the start, a proposal team leader will be identified This is often a Program Manager, Director of Programs (head

of PMO) or Country Director (head of Portfolio Management) In the case of large proposals a New Initiatives or other TSU team member may lead the proposal The team leader in most cases will be assisted by someone with expertise in the sector(s) on which the program will focus This could be a member of the field team and/or may involve someone from the relevant Technical Support Unit More complex proposals will require additional staff to assist with coordination of the proposal preparation, collection of data, negotiation of partnerships, etc In countries with existing Mercy Corps programs the Finance Manager will lead in developing the budget In addition, a team of reviewers should be identified which typically includes the Country Director, Country Operations Manager, Regional Program Director, a HQ Program Officer, a relevant member of the TSU, and the HQ Regional Finance Officer It may include other HQ support teams, such as DM&E or PALM for specific sections of the proposal

Partners

Early on, the Proposal Development Team should determine whether any partnerships are required in order to successfully implement the program activities, as well as be competitive in our application for funding to implement the

desired program Local Partnerships: A Guide for Partnering with Civil Society, Business, and Government Groups

provides useful guidance and tools for establishing, fostering and managing partnerships The Guide also contains Mercy Corps’ Principles of Partnership, which are essential for structuring and framing collaborative relationships The negotiation of the role of each partner can be time consuming which should be taken into account and built into the proposal development work plan A teaming agreement template39 and sample letters of commitment that can be useful during the negotiation process, alongside the Principles of Partnership, can be found in the Proposal Tool Kit Teaming Agreements should be prepared with all partners to assure a clear and common understanding of roles and responsibilities of participating organizations They should reflect the exact understanding between the organizations to avoid confusion and delays at program start up They are also a helpful reference as sub-agreements are drafted during the set-up and planning phase

Key Personnel Identification

Frequently RFAs or Calls for Proposals require the identification of one to five “key personnel” within a proposal In these cases it is critical to begin recruitment immediately as the steps require, which include: 1) drafting a position description; 2) advertising; 3) screening of applicants; 4) interviewing of top candidates; and 5) negotiation of a job offer, followed by 6) formatting of CVs and drafting of relevant sections of the proposal narrative, which require

a month or more to complete In the Recruitment section of the Proposal Tool Kit are tips40 and templates41 for drafting

37 Proposal Work Plan Template: https://mcdl.mercycorps.org/gsdl/cgi-

and examples can be found in the Technical Proposal Writing and Reviewing and the Sector Information Packets

sections of the Proposal Tool Kit

Budget Draft

As with the narrative, the instructions in the RFA or Call for Proposals should be closely consulted when preparing the budget Guidance for developing a program budget can be found in the Budgeting Guide Presentation46 A Mercy Corps standard budget template47 should be used for the initial draft and, if required, then modified to conform to a donor’s budget template The budget is typically developed by the Finance Manager for the country, in consultation with other members of the program design team Although further, more detailed budget planning work is required in the Set Up and Planning phase, the creation of a budget is always recommended in the Program Identification and Design phase as well, even in rare cases when it is not required by a donor

All costs associated with the program should be included in the budget Where not required, including match48 or co-financing in the budget is discouraged due to the added administrative burden Those proposals that require retention and/or co-financing must submit an Expression of Interest49 for approval by the Regional Program Director, the Senior Vice President for Programs in Portland and, in the case of Scotland office supported grants, the Deputy Executive Director in Edinburgh

The budget should be cross-checked with the proposal narrative to ensure the documents align, as well as be reviewed by the HQ Regional Finance Officer The Digital Library has a Budget Review Check-list50 to help in reviewing the budget

42 Exclusive Letter of Commitment for Key Staff: https://mcdl.mercycorps.org/gsdl/cgi-

bin/library?a=q&r=1&hs=1&c=agency&h=dtt&t=0&q=letter+of+commitment+staff

43 Consultant Letter of Understanding (Proposal Stage): https://mcdl.mercycorps.org/gsdl/cgi-

bin/library?a=q&r=1&hs=1&c=agency&h=dtt&t=0&q=letter+of+commitment+contractor

44 USAID CV Example: https://mcdl.mercycorps.org/gsdl/cgi-bin/library?a=q&r=1&hs=1&c=agency&h=dtt&t=0&q=USAID.*cv

45 Proposal Composition Guide: https://mcdl.mercycorps.org/gsdl/cgi-

Proposal Production and Submission

Developing, writing, reviewing and finalizing a proposal takes significant effort and time All of this must be allowed for when taking on the development of a new proposal Other tools available are:

• Proposal Review Tips51 offers suggestions for making feedback practical and useful

• Appendix A of the Proposal Composition Guide offers a Sample Proposal Outline

• Proposal and Donor Guidelines section of the Proposal Tool Kit

A proposal or preliminary program scope statement with a summary budget is a Minimum Standard

of Program Management at Mercy Corps.

Final Steps

Following the submission of a proposal, it is important that a few final steps are completed, including: 1) ensuring an

HQ program officer makes a Grant and Award Information Tracker (GAIT)52 entry that summarizes the application made; and 2) submitting the proposal to the Digital Library In addition, an electronic file should be kept containing all assessment data gathered, including contact information for interviewees, organizations, etc (such as the Assessment Contacts Documentation Spreadsheet) and handover notes with key details about decisions made during the design process that would be of relevance to the team implementing the program, should the proposal

be successful These activities should be included in the proposal development work plan, specifying who the responsible party is for carrying out these final important steps

51 Tips for Proposal Reviewers: https://mcdl.mercycorps.org/gsdl/cgi-

bin/library?a=q&r=1&hs=1&c=progdev&h=dtt&t=0&q=tips+proposal+reviewers

52 Grant & Award Information Tracker (GAIT) is a web application developed by Mercy Corps to track real-time program and financial

information on grants and other awards The system is also used for gathering information for Past Performance Reports as well as

generating a variety of financial and program reports The information inside GAIT is updated through the joint efforts of both the HQ Finance and HQ Program departments.

Chapter 

The Program Identification and Design Phase

Program Transition Plan SPlan

Technical &

Cross-Cutting Them Needs &

Partnerships SCreate Work

Breakdown Structure

SPlan

Communications

SPlan Quality Assurance

SCreate

Program Budget

OProgram Work Plan

OProgram

Organizational Chart

Management Manual:

Chapter 7 Local PartnershipsT

A Guide for Partnering with Civil Society, Business,

& Government FunctionalT

Analysis

T

Creating a Schedule

T

Creating an Activity Budget

T

Subgrant Management Manual Sample PositionT

Descriptions

T

Creating a Work Breakdown Structure

Management Tip Sheet

T

Country / Sector specific technical guides &

standards (DL, technical specialist

& TSU resources) DM&E-in-a-Box:T

DM&E at Project Start-Up

T

Supply Chain

& Contract Requirements Table

T

Operational &

Security Requirements Table

T

Office-in-a-Box

T

Mercy Corps Coding Methodology

Minimum Standards for the Set Up and Planning Phase:

Program File is created (see 4.1)

Program Work Plan (PWP) exists, with the following minimum contents (see 4.3):

Key program parameters, coming from preliminary program documents

Work Breakdown Structure (see 4.6)

Program Schedule (see 4.8)

End of Program Transition Plan (see 4.4)

Technical, Cross-cutting Theme, and Sub-grant/ Partnership Planning is conducted (see 4.5)

Supply Chain and Contracting, Personnel, Operations & Security, and Planning is conducted (see 4.6) Program Organizational Chart exists (see 4.7)

Monitoring and Evaluation Minimum Standards for the Set Up and Planning Phase:

Indicator Plan exists (see 6.3)

About This Chapter

The Set Up and Planning phase follows the identification & design phase It is the phase in which the designed program is planned, prior to implementation The program management steps in the Set Up and Planning phase are not necessarily linear – some of them will take place iteratively within the Program Implementation phase adding more planning detail and reacting to Monitoring and Evaluation feedback It is expected that planning starts in the Set Up and Planning phase and is regularly conducted throughout Program Implementation in response to new information, risks, opportunities, assumptions and constraints, and while initial activities will be planned in great detail

at the start of a program, later activities will be progressively elaborated during implementation

This chapter describes the key program management steps during the Set Up and Planning phase These are described below: 4.1) Program File; 4.2) Stakeholder Management Plan; 4.3) Program Work Plan; 4.4) End of Program Transition Plan; 4.5) Technical Requirements and Partnerships Plan; 4.6) Work Breakdown Structure;

4.7) Team Requirements and Structure; 4.8) Program Schedule; 4.9) Program Budget Please note that initial start-up activities such as recruitment and Kick-Off Meetings take place in the Program Implementation phase (see

Chapter 5), and for that reason are not covered here

4.1 Program File

The Set Up and Planning phase is entered into after a program that has been identified and designed has been approved for funding and is ready to move ahead At this point, when it is confirmed that the program will move ahead, a Program File should be created – please refer to Mercy Corps’ Program Document Retention Policy53 The initial documents in this file will be the proposal, budget, assessment documentation, and stakeholder lists prepared during the Set Up and Planning phase (see Chapter 3 for details) During the Set Up and Planning phase, this file will be populated by key planning documents as they are created Note that creation of this Program File is a Minimum Standard for Program Management at Mercy Corps.

It is likely that the Program File will also contain additional information such as success stories, the Stakeholder Register (see Chapter 4 and 5), additional Monitoring and Evaluation documents (see Chapter 6), a Risk Matrix (see Chapter 4), ad hoc communication to stakeholders (see Chapter 5), and communications materials (see

Chapter 5) Ultimately, the items to be added to the Program File over and above the minimum requirements can

be decided by the PMO and/ or Portfolio Management with guidance from the HQ Program Officer

It is imperative that the Program File in the field and the Grant File kept at HQ by the finance team over-lap perfectly

on the agreement, modifications, change letters, log-frame, budget, and progress reports Additionally, please refer

to the program document retention policy for guidance on which documents need to be retained at HQ in addition

to in the field Also refer to Chapter 17 of the Field Finance Manual: Record Keeping and Archiving54, The Field

Procurement Manual55 and the Human Resources Management section of the Field Administration Manual56,

53 The Program Document Retention Policy is under development as of the release of this manual.

54 Field Finance Manual Section 17 – Record Keeping: https://mcdl.mercycorps.org/gsdl/docs/Section 17 - Record Keeping.pdf

55 Field Procurement Manual: https://mcdl.mercycorps.org/gsdl/docs/field procurement manual 2006.pdf

56 Field Administration Manual: https://mcdl.mercycorps.org/gsdl/docs/Field Administration Manual.pdf

Chapter 

The Set Up and Planning Phase

 < Table of Contents

particularly regarding responsibilities for retention of original documents If a document outlined in the Program File pertains to an original kept by finance, the requirement is to include a copy of the document in the Program File The following list outlines the minimum records required to be retained in hard copy files Where possible, the soft copy file structure and content should mirror the official program hard copy file This list is not all inclusive and items not listed should be referred to your HQ Program Officer for guidance 57

Program File Contents Checklist

See Annex 10 for a printable checklist

1 Assessments (see Minimum Standards checklist)

a Written assessment or problem analysis (can be included in proposal document or can be a separate assessment document)

2 External stakeholders list

a List of external stakeholders (with contact information) participating in initial consultations

b Community selection written rationale

c Partner identification written rationale

3 Proposal or Preliminary Scope Statement

a Final submission approved by donor

b Logical Framework

c Summary Budget

4 Documentation of the review of lessons learned and best practices

Set Up And Planning

1 Agreements

a Final signed program agreement with donor

b Agreements of Understanding – communities/partners/government (Memorandum of

Understanding (MOU), letters of support, etc.)

c Modifications and amendments to program agreement

d Official communications with donors, including requests (NCE, key personnel, waivers, etc.) and approvals

2 Work Plan (see Minimum Standards checklist)

a Key program parameters, coming from preliminary program documents

b Work Breakdown Structure (WBS)

c Program Schedule

d Coded program budget

e End of Program transition plan

57 The documents within Identification & Design should be drafted during the Identification and Design Phase As a Program Manager will likely not have been assigned at this stage, the documents should be retained by the HQ Program Officer When a program is approved, the HQ Program Officer will send an electronic package with the Identification and Design documents to the program team in the field.

Chapter 

The Set Up and Planning Phase

1 Meeting Minutes

a Kick-Off Meeting minutes

b Program Team Coordination Meeting Minutes (quarterly)

c External stakeholder meeting minutes

2 Reporting

a Program reports submitted to donor (interim, annual and final)

b Internal Program Progress reports

i Means of verification such as beneficiary lists, attendance sheets, survey data, etc

c Updates to Program Work Plan

d Issues Log (recommended)

e Risk Register (recommended)

3 Sub-grants (see sub-grant manual and Grant File for more info)

a Approved proposal and coded budget

b Sub-grant agreement

c Memorandum of Understanding

d Program reports (interim, annual and final)

4 Deliverables58

a Descriptions of Deliverables (Documentation of planning)

b Verification of execution / proof of assistance received

c Reports of quality assurance checks

5 Human Resources

a Organizational chart (Personnel and Job Files are retained with HR)

b Consultants

i Consultant agreement

ii Scope of Work

iii Final deliverables / output

c Training Needs Assessment

Monitoring & Evaluation

1 Indicator Plan / Performance Monitoring Plan (PMP)

a Deviations formally documented and plan updated

2 M&E Event Reports (baseline, endline, and routine monitoring)

3 Evaluation Report (mid-term and final)

4 M&E Data Management System Reports

5 M&E Data Sources disaggregated by sex and age

a Surveys

b Beneficiary lists – activity, location, names, etc

c Attendance sheets – trainings, meetings, etc

d Pre- and post- tests from trainings

e Routine monitoring reports (projects & sub-grants) CONTINUED ON PAGE 26

58 Requirements will vary based on intervention type Please refer to the Program Document Retention Policy and Procedures for detailed

information on requirements.

Chapter 

The Set Up and Planning Phase

 < Table of Contents

End-of-Program Transition

1 End-of-Program Transition Plan (written & approved)

a Proof of communication to internal team members as well as external stakeholders

b Sub-grant end of program closure documentation and formal acceptance of work performed

2 “Final 90 Day” Meeting Minutes

3 Handover report to external stakeholders

a Handover of deliverables documented (includes infrastructure)

4 Lessons learned written document

Please note, all correspondence with donors, communities, partners, government, both formal and informal, should be printed and filed under the relevant topic folder Each numbered category should include a folder for correspondence For questions or guidance on this, please contact your HQ Program Officer

4.2 Stakeholder Management Plan

A program is successful largely when the needs of the stakeholders have been met During the Program Identification and Design phase, potential stakeholders were identified, consulted, and listed (please refer to Chapter 3 for details) During the Set Up and Planning phase, this list of stakeholders should be reviewed, and any additional internal

or external stakeholders should be added For larger or more complex programs, the Program Manager should consider developing a Stakeholder Register (see Annex 1), which is utilized during the Program Implementation phase (see Chapter 5 for details) to pro-actively manage stakeholder expectations and communications In all programs, stakeholder management should be done proactively throughout the program cycle

Once you understand who the stakeholders are, the next step is to ascertain their needs and interests The best way to do this is often by conducting stakeholder interviews or focus groups Take time to draw out the true needs that create real benefits In some cultures, it may be necessary to hold separate focus groups with male and female stakeholders and/or with different age groups to ascertain the different needs and interests of each group Understanding stakeholder interests in and potential influence on the program and planning early for the management

of stakeholder expectations can help the program team to avoid problems in the future and to benefit from positive stakeholder influences Use of a Stakeholder Register is a recommended step in the Set Up and Planning phase for complex programs

4.3 Program Work Plan

The remaining sections of this chapter focus on processes involved in the development of the Program Work Plan (PWP) Successful Program Implementation is largely determined by the planning Creating a PWP is critical Often planning is ignored in favor of starting work because of a sense of urgency However, many fail to realize the value

of program planning in saving time, money and reducing problems during implementation It also serves to bring the team together so everyone understands their roles and collectively works towards the program objectives Often, a

“work plan” is thought of to be a simple gantt chart or schedule However, effective PWPs are much broader and encompass planning for all aspects of program management Coming out of the Program Identification and Design phase there may be a high-level PWP already developed Depending on the complexity or risk areas of a specific program, large portions of the PWP will require further detailing by the PMO and available program team Dedicated, focused time of key stakeholders to the development of the PWP can enable a quicker planning process without compromising comprehensive planning nor the required level of detail

What is a Program Work Plan? Who creates it? What Should it Contain?

A Program Work Plan (PWP) inclusive of Key program parameters, coming from preliminary program documents, a Work Breakdown Structure (WBS), a Program Schedule, a Coded Program Budget, and an End-of-Program Transition Plan is a Mercy Corps Minimum Standard for Program Management

at Mercy Corps. It is a document or set of documents that sets out program requirements and activities for multiple stakeholders – but critically the Program Team, including support staff, the PMO and formal partners – to work and Chapter 

The Set Up and Planning Phase

track against Hence as much as possible, the Program Team, PMO, partners and any support personnel should participate in the PWP creation If a particular role is not available at the time of PWP creation, the PMO should identify a substitute for the anticipated role and develop its requirements within the program.

The level of complexity of the PWP can be decided

by the PMO and Portfolio Management: in some

cases, a very basic PWP that consists only of a WBS

(see 4.6.), Program Schedule, key M&E event plans,

a Coded Program Budget, and an End-of-Program

Transition Plan may be sufficient; with complex

programs with multiple projects, stakeholders and

partners, much more may be required The table below summarizes elements that are sometimes included in PWPs for the consideration of each PMO, and denotes which of these elements are minimum requirements in Mercy Corps’ context:

statement, see Chapter 3)

statement, see Chapter 3)

Donor(s) and Donor Compliance Requirements Yes (from grant agreement(s))

– see Chapter 3, 4, and 5)

Delineation of Team/ Partner Roles & Responsibilities Yes (see Chapter 5, and also from proposal or

preliminary program scope statement, see Chapter 3)Key Operational and Support Requirements (supply

chain, contracting, operations, security) Yes (see Chapter 4)

statement, see Chapter 3, and from technical planning

in Chapter 4)

program scope statement, see Chapter 3)

statement, see Chapter 3, but will likely require additional planning)

Baseline Schedule with initial critical path Yes (see Chapter 4 and Chapter 5)

1 Implementation planning is comprehensive;

2 Implementation planning is detailed;

3 Implementation planning emphasizes participation;

4 Implementation planning prioritizes iteration

– From A Guide to the PMD Pro

1 Implementation planning is comprehensive;

2 Implementation planning is detailed;

3 Implementation planning emphasizes participation;

4 Implementation planning prioritizes iteration

– From A Guide to the PMD Pro

Chapter 

The Set Up and Planning Phase

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Chapter 3, but must also be developed in the Set

Up and Planning phase, elaborated in the Program Implementation phase, and finalized in the end of program transition phase – see Chapter 7)

59

Of the minimum aspects of the PWP mentioned above, most are self-explanatory, or are summarized elsewhere in

this document, in the annexes and in the A Guide to the PMD Pro A typical Program Planning Workshop agenda

Review Proposal & Logframe

Brainstorm Is/Is Not Matrix

(see sample in Annex 2)

Review M&E Plans

Review Budget

Day  morning –Create initial WBSAssign task ownershipDevelop WBS hierarchy

Day  morning –Create ScheduleDiscuss issues/concerns

Day  afternoon –

Brainstorm Risks

Develop Risk Matrix

Determine Major Milestones

Day  afternoon* –Develop dependenciesEstimate task duration

Day  afternoon –Determine what additionalfunctional plans are requiredDetermine next steps

Plan Early for High Risk Areas

Planning is required for all aspects of a program; cutting across all functions (see figure above) Through planning there is a higher probability that adequate time, money and resources will be allocated to achieve the desired logframe objectives and outputs Planning cuts across all functions human resources, procurement, administration, logistics, security, compliance, monitoring and evaluation, technical and cross cutting themes Depending on the program, some elements have higher risks with greater impacts if detailed plans are not developed early enough in the program lifecycle Each program has specific areas of concern, however included in this chapter are common problem areas, where careful planning can have large benefits for program efficiency and effectiveness

4.4 End-of-Program Transition Plan

It might seem counter-intuitive, but it is important to start thinking about End-of-Program Transition during the Set Up and Planning phase, and to include a preliminary End-of-Program Transition Plan in the PWP There is no particular format for this plan, but it should describe both the administrative close-out processes and the programmatic transitional processes required – since this is discussed in Chapter 7 and is not repeated here The End-of-Program Transition Plan is preliminarily developed during the Set Up and Planning Phase, iterated or refined during the Program Implementation phase, and executed during the End-of-Program Transition phase A written End-of- Program Transition Plan is a Minimum Standard for Program Management at Mercy Corps and is further discussed in Chapter 7

59 When specifying the program scope, an “Is/ Is Not Matrix” may be helpful to help various stakeholders understand what the program is and

is not designed to do See Annex 2.

Chapter 

The Set Up and Planning Phase

4.5 Program Technical Requirements60 and Partnerships Plan

In the Set Up and Planning phase it is important to specify what technical skills are required to implement the program Resulting tasks and time estimates will later be integrated into the Work Breakdown Structure (WBS, see

4.6.) and Program Schedule (see 4.7.) within the Program Work Plan Planning for technical requirements, cross-cutting theme needs and partnerships and sub-grants is a Minimum Standard for Program Management at Mercy Corps. Common technical sectors for Mercy Corps include food security and livelihoods, public health, nutrition, water/ sanitation, agriculture, economic recovery and development, governance, climate change, disaster risk reduction, and emergency response, although other technical sectors feature in Mercy Corps programming as well It is beyond the scope of this manual to describe the technical aspects of sector-specific programming, because these vary greatly by sector, but the table below provides an example Guidebooks, tip sheets and lessons learned documents for most sectors can be found on the Digital Library Regional or local technical specialists, colleague agencies and TSU are also good resources for planning technical requirements for your program or project Remember that the technical requirements will also inform the ‘description of deliverables’ required in the Program Implementation phase (see Chapter 5)

• Community Mobilization Skills

• Training Abilities

• Information, Education and Communication Materials

• Training materials for community facilitators

• Community mobilization training

• Training of Trainers (ToT)

• Public health specialist

to assist with design of key messages

• Artist to design IEC materials

• Training designer

to design training curriculum and deliver ToT

• Community mobilization trainer

distribution skills

• End-use monitoring

• Understanding

of caloric intake requirements

• Warehousing and transportation capabilities

• End-use check forms;

end-use check training

• Ration calculators;

training on caloric requirements

• Warehousing and transport facilities

• Food assistance specialist to design forms, conduct training

Plan for Cross-Cutting Themes

In the Set Up and Planning phase it is important to specify what cross-cutting themes must be integrated into Program Implementation Resulting tasks and time estimates will later be integrated into the WBS and Program Schedule Similar to other technical requirements, resources for planning the cross cutting themes can be found

on the Digital Library or through technical specialists, either locally or on the TSU Common cross-cutting themes include youth, gender, urban, community mobilization, governance, peace building, environment, and HIV/ AIDS It is beyond the scope of this manual to describe the cross-cutting themes, because these vary by program, but the table that follows provides an example

60 Technical requirements refer to the sector expertise required to effectively implement a program For example, a maternal and child health program may require public health expertise and a water and sanitation program might require expertise in water systems engineering and waste management as well as public health.

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Example Cross-Cutting Theme Planning Matrix

understand gender issues as they pertain

to the program and its beneficiary communities, and must understand how gender translates to practical activities during Program Implementation

• Gender-sensitive participatory methods, including separate male/ female focus groups in some cases

• Disaggregated Stakeholder Register by gender

• 50% of Program Team must be women

• 50% of community training participants must be women

• 50% of the officers

of community based organizations formed or strengthened must be women

• Disaggregated program Monitoring and Evaluation data by gender

• Gender-specific program policies within Program Charter (if available), or set by PMO

• Gender-related program requirements integrated into WBS

• Orientation of Program Team by gender specialist

Partnerships and Sub-Grant and Memorandum of Understanding (MoU) Requirements

Most Mercy Corps programs are implemented with partners or sub-recipients, which require formal sub-grant agreements or partnership agreements Other programs require non-financial MoUs with collaborating partners When initiating a program, it is important to finalize partnership requirements and estimate the time required to draft, negotiate, review, and assign sub-grant agreements and MoUs Sub-grants over $100,000 or sub-grants to US registered NGOs must be drafted with the involvement of the HQ-based Finance, Training and Compliance team Likely, partners will be integral in planning the implementation of the program and thus these partnerships need to

be forming as the Set Up and Planning phase is occurring Many teams find that successful partnerships are those highly task-focused, where all partners are actively engaged in delivering tangible and practical results Mercy Corps’

Local Partnerships: A Guide for Partnering with Civil Society, Business, and Government Groups is an essential

resource for forming and managing partnerships with Mercy Corps’ 10 Principles of Partnership highlighted within

the Guide The Sub-grant Management Manual should guide partnerships involving the transfer of resources Both

guides can be found in the Program Management Toolkit on the Digital Library

While the contractor relationship is very straightforward (namely, contractors are contracted to carry out a certain task for a certain fee), the partner relationship is more complex, because Mercy Corps and the partner may wish to engage in partner capacity development, which requires monitoring, mentoring, and, in many cases, formal training

For these partnerships, it may be beneficial to development a Capacity Development Plan (CDP – see Local

Partnerships Guide) These capacity building tasks and requirements should be integrated into the PWP with the

information available More detail may need to be added later, but in this manner time and resources can be allocated for use at an unknown later time

4.6 Work Breakdown Structure (WBS)

The Work Breakdown Structure is a hierarchical tree used to organize the activities of a program into related tasks

A program is divided into projects or components, and these are then divided into sub-projects or sub-components, and then into tasks or work packages, which is the lowest level of work The work package feeds into various levels of summary tasks and activities that eventually support the project objectives WBS is described in greater detail with Chapter 

The Set Up and Planning Phase

examples in PMD Pro In addition, the steps for developing a WBS can be found in Annex 3: Tip Sheet for Creating

a Work Breakdown Structure (WBS)

The WBS is generally created prior to or in conjugation with the creation of the Program Schedule The program team and any internal or external stakeholders preferably create the WBS and schedule through a participatory Program Planning Workshop This workshop may be quite abbreviated for small and straightforward programs, or may require considerable amounts of time and a relatively large number of people for large or complex programs

Development of a Work Breakdown Structure as a component of the Program Work Plan is a Minimum Standard for Program Management at Mercy Corps.

Plan for Supply Chain, Contracting, Operations and Security

For a program requiring supply chain (procurement, warehousing, distribution, transportation) and contracting of goods and services, understanding these requirements and the time and risks of that procurement is a large portion

of making this type of program successful Time requirements for finalizing these contracts and sub-agreements should be discussed with responsible support personnel and incorporated into the Program Schedule, ensuring

adequate lead time to allow Mercy Corps’ standard sub-grant business processes (as per the Field Finance Manual) and contract business process (as per the Field Procurement Manual) to be followed

A significant mistake is not considering supply and contracting in the planning phase In a program requiring procurement, the tendering of a contract, lead time of delivery, and impact if delivery of poor quality occurs can be 1/3 to 1/2 of a program’s schedule Planning, implementing and monitoring supply chain is key in these types of programs Points for program teams to consider are summarized in the table below:

Tips for Supply Chain and Contract Requirements

Estimate time requirements for large tenders under the program

Determine preferred supplier agreements that will be needed, if any

Determine applications for waivers that will be needed, if any

Storage/Warehousing

Estimate time required for warehousing training for the Program Team

Determine if warehouse leases will be required

Estimate total space requirements for program goods and supplies, and then increase these by 25%

Determine whether the program includes any “kits” that can be assembled early in the Program

Implementation phase

Estimate stock levels and stock turnaround time

Set procedures for physical counts

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Distribution

Consider likely distribution procedures, and time requirements

Consider likely distribution documentation that will be required

Estimate time required for distribution training for Program Team

Estimate staffing requirements to execute distribution procedures

Consider optimal packaging of program materials

Consider routine program supplies that will be required

Transportation

Determine vehicle needs and discuss lease vs purchase decisions Estimate time requirements to acquire fleet – and secure waivers or prior approvals as required

Estimate time requirements for registration, insurance, and provision of vehicle equipment

Determine need for preferred supplier arrangements for fuel, maintenance

Determine driver staffing needs

Estimate time required for driver security training

Setting up security for a new program can be a time and cost intensive process Often these requirements must be in place before programmatic work can start Not doing so can significantly affect the success of the program Mercy

Corps Field Security Manual and the office’s Security Focal Point, in established country offices, are essential

resources for planning security requirements Some points to consider are also summarized in the table below

Tips for Operational and Security Requirements

Operations Staffing

Initially, base operations staffing levels on the “ideal case”

For any program requiring more than office supplies in the supply chain, plan for a dedicated officer or assistant

For any program requiring warehousing, plan for supervisory and labor requirements

For any program requiring heavy maintenance or construction work, plan for appropriate technicians

Office Space and Supplies

Determine the number of Program Team members requiring quiet or secure space vs those requiring “hot desk” space only

Investigate office space availability and cost, including modular temporary solutions

Estimate time required for office-set up, ICT equipment set-up, and power back-up

Determine maintenance requirements

Security

Determine the need for a security assessment

If assessment is needed, estimate time and cost requirements

Determine physical security needs of both staff and property

Estimate timeframe required to implement security measures

Investigate legality and licensing of redundant communications capacity (VHF, HF, Satellite Equipment)

Conducting supply chain and contracting, personnel, operations and security planning is a Minimum Standard of Program Management at Mercy Corps.

Chapter 

The Set Up and Planning Phase

4.7 Team Requirements and Structure

According to global project and program management standards, the Program Team is “acquired” (formed, or recruited) during the Program Implementation phase This is sometimes confusing, since it is difficult to think about initiating and planning a program without a Program Team However, here it is important to remember that many aspects of the Set Up and Planning phases may be carried out by the PMO and Portfolio Management, before a Program Manager and Program Team are assigned In other cases, a Program Manager and possibly key program team members might be assigned and lead some aspects of planning, but the remaining team members might not

be recruited until later

Since the majority of the Program Team is “acquired” in the Program Implementation phase, the important step in the Set Up and Planning phase is for the PMO to determine the right mix of team members and skills and the appropriate organizational structure The identification of required skills can aid the recruitment process, and can also be used as the basis for a Team Member Training Needs Assessment (see Chapter 5) Ideally, the PMO should create position descriptions with qualification requirements in the Set Up and Planning phase, so that in the Program Implementation phase these position descriptions can simply be reviewed and updated prior to recruitment (see Chapter 5) During the planning phase these positions should be designated in the schedule and roles and responsibilities matrix in anticipation of the work they will perform

Organizational Structure and its Relationship to Program Management

In planning the appropriate program team it is important to understand what the organizational structure is or what should be used Each portfolio manager and PMO must decide on the right kind of structure for the purposes of the portfolio, because each has its own strengths and weaknesses It is beyond the scope of this manual to go into detail about these structures, but the PMO should research structural options, discuss which structure is most conducive to program success without compromising other business processes, should discuss the structure, the rationale for the structure, and the relationship between the structure and the program with the Program Manager and the Program Team The organizational structure should also consider existing programs and how the new staff with interact

No matter what type of organizational structure will be best fitted for managing a particular program, in assembling organizational structures one common task is critical: A clear description of roles and responsibilities and reporting lines for each member of the organization and partner involved with the program This translates into clearly written position descriptions, clear reporting structure and clearly defined approval authorities Each program must have a Program Organizational Chart that visually depicts the working and reporting relationships between team members, and between the Program Team and the broader portfolio A clearly defined Program Organizational Chart for each program is a Minimum Standard for Program Management at Mercy Corps.

As the program progresses, the organizational structure may also evolve, so the Program Organizational Chart should be regularly updated It is important to share the updated Program Organizational Chart with staff and partners so everyone understand the lines of reporting It is the responsibility of the Program Manager and the PMO

to enforce these reporting lines and to ensure there is clear communication within the team

4.8 Program Schedule

Once the WBS has been created to the desired level of detail, and once task owners have been identified and documented, it is the time to create a Program Schedule

Creating the schedule is a valuable team building activity Through discussing who is delivering what, to whom, and

if tasks can be done at the same time or one after the other allows team members to gain mutual understanding and consensus of the sequencing of Program Implementation Valuable risk mitigation discussions help to identify tasks which are dependent on external factors and interventions that can help to minimize potential negative impacts on the program Collaborative scheduling with available team members, program support staff and partners will also help the Program Manager to define and schedule internal and external communications and ensure that modalities and frequency for quality assurance are given sufficient consideration from the very beginning

The finalized initial Program Schedule is called the “baseline schedule.” This is used at the program Kick-Off Meeting with relevant stakeholders to set schedule expectations and understanding During implementation, this Chapter 

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schedule is tracked and modified as needed It is tracked using % completion of tasks, and evaluated against the original baseline with its interim and major milestones for providing a measurement of success at any point in the program The Program Schedule is a “linked” schedule that specifies the dependencies between each work package or activity in the Work Breakdown Structure Having a linked schedule is important because this allows the schedule to adjust itself each time actual start dates and actual finish dates for tasks vary from planned start dates and planned finish dates Development of a Program Schedule as a component of the Program Work Plan is a Minimum Standard for Program Management at Mercy Corps.

to group major components of a program The top levels of the WBS are a good source for milestones

Critical path is another schedule tool, which focuses the Program Team on priorities The Critical Path is the route through which the program tasks take the shortest amount of time to complete and is easily identified by MS Project

If a single task on the critical path is delayed, it means all the tasks behind it are delayed There is no slack time, float or extra days, therefore unlike other tasks, delays in tasks on the critical path can delay the delivery of the entire program Using this tool the Program Manager can prioritize a critical path task over another, reducing delays in the program without having to track all detailed tasks all the time

The steps for developing a schedule can be found in Annex 4: Tip Sheet for Creating a Schedule

Risk Management Planning

Risk management is an important part of program management Every program has risks that threaten to cause program failure Program risk management involves firstly identifying the risks that impact your program Although often overlooked, it is important to identify as many risks to your program as possible, and be prepared if something bad happens It’s best to get as many people involved in the risk identification process as possible Examples of common programmatic risks include:

• Proposal time and cost estimates too

optimistic

• Stakeholder review and feedback cycle too

slow

• Unexpected budget cuts

• Lack of resource commitment slows work

• Currency fluctuations disrupt budget availability

or accuracy of projections

• Political instability causes government partners

to hinder community cooperation

• Security risks block traditional transportation

routes or stakeholder participation

Risks can be tracked using a simple risk matrix Add

each risk you have identified to your risk matrix; write

down what you will do in the event it occurs, and what

you will do to prevent it from occurring Next, analyze

the risks Risk analysis can take many forms, however,

they usually revolve around providing answers to three

questions:

Reserves Work with Finance Support

Updates to risk management plan

Identify Risks

1 Identify Potential Risks

2 Review previous low-priority risks

Develop Response Plans

1 Define each risk, icluding the probability and potential negative impact

2 Develop a response for high-priority risks

Continuous Risk Mgmt.

1 Monitor for new risks

2 Report status at regulat intervals

3 Upon a risk event:

– Execute response plan – Update entire plan

Updates to risk management plan

Identify Risks

1 Identify Potential Risks

2 Review previous low-priority risks

Develop Response Plans

1 Define each risk, icluding the probability and potential negative impact

2 Develop a response for high-priority risks

Continuous Risk Mgmt.

1 Monitor for new risks

2 Report status at regulat intervals

3 Upon a risk event:

– Execute response plan – Update entire plan

1 What is the probability of the risk event occurring?

2 What would be the impact on the program if the risk event were to occur?

3 What steps can be taken to minimize the impact of the risk event if it did happen?

Answering the third question provides your risk mitigation strategy for each risk You then need to decide for each risk who will implement the strategy, with which resources and by when See the Risk Management Tip Sheet in Annex

5 for steps of risk management planning

Review your risk log on a regular basis, adding new risks as they occur during the life of the program Remember, when risks are ignored they don’t go away

Risk Management is an iterative activity performed throughout the entire duration of the program In essence the Program Manager is a risk manager The PMO and Program Team should be constantly anticipating what could impact the program and how to avoid or mitigate those impacts keeping the project moving forward, as per the

“Managing Issues” section of Chapter 5 An initial Risk Assessment should be done in the proposal phase so high probability and severe risks can be incorporated into the proposal plan (contingency or mitigation planning) This initial Risk Assessment should now be re-assessed in the planning phase, when there is more information and a larger cross-functional team is available for input

Plan for Quality Assurance

Descriptions of individual program deliverables form the basis for quality assurance Descriptions of deliverables are created by the Program Team throughout the Program Implementation phase, on an as needed basis, not all at once Examples of descriptions of deliverables include:

• Training agendas, materials, and facilitators’ notes for trainings

• Design drawings and Bill of Quantities for infrastructure

• Scope of Work or Terms of Reference for technical consultancies

• Approach and process documentation (for example, a community mobilization process, or nutrition rehabilitation process, or a farmers’ capacity building process)

Ensure that a relevant Program Team member is assigned to develop each of these descriptions of deliverables, and that these are approved by the Program Manager as they are developed

All programs require quality checks either through an M&E process or through quality assurance checks or both During the course of implementation, quality assurance checks should be conducted, and should be included within the Program Schedule in the PWP, and should be carried out by someone outside of the direct Program Team

An example of what is described above is summarized in the table below:

Description of Deliverables Standard latrine drawing and Bill of Quantities

Quality Assurance Checks Visits during and after construction to confirm the total number of latrines

(physical verification), and the actual design of the latrines as compared to the planned design within the description of deliverables

Plan for Monitoring and Evaluation (M&E)

Monitoring and Evaluation Processes compare program performance to the objectives and indicators in the original proposal, as well as to the Program Work Plan and Indicator Plan M&E data are actively used through the Program Implementation phase to track that the program is achieving desired results If there are unacceptable variances, Monitoring and Evaluation results can be used to make adjustments to program plans through a change process (see Chapter 5) Based on the degree of change, elements of the PWP may need to be updated to reflect the new actions

Planning for effective M&E begins in the Program Identification and Design phase by incorporating SMART objectives (see section 3.6) and well thought-out indicators into the program logframe Implementation plans are then developed in the planning phase A well-developed M&E plan can take time to develop and the design should Chapter 

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begin as soon as possible to then enable implementation planning and integration into the Program Work Plan as early in the process as possible Effective evaluation planning should begin at this phase, with appropriate budgeting and staffing for M&E and allocation of time in the PWP The following components make up the M&E Plan, additional information for each can be found in Chapter 6 and DM&E-in-a-Box61

Indicator Plan: The indicator plan will enable planning (time, budget, human and other resources required) for

any required M&E work This plan should be done before the WBS process so that the resulting requirements can be reflected in detail in the WBS and then integrated into the Program Schedule Include Mission Metrics indicator alignments in the indicator plan

M&E Schedule: Include monitoring as a key management activity and make resources available to carry it out,

including roles and responsibilities, budgeting time for baselines, regular data collection, review and reporting, and midterm and final evaluations Include key management and implementation tasks, persons responsible and clear targets for achieving them so that we can track performance over time The M&E Schedule should be integrated into the broader Program Schedule

4.9 Program Budget

At the Set Up and Planning phase, the proposal budget created in the Program Identification and Design phase requires additional work in order to provide the level of detail necessary to plan and manage program activities Program budget planning consists of three distinct parts:

1 Additional detailed breakdown of the proposal budget

2 Financial coding of the detailed budget

3 Creating activity level budgets

Parts 1 and 2 above are related to overall budget management, and occur prior to beginning implementation This should be done by the Program Manager with the support of the Finance Manager and the Program Team Part 3

is the creation of budgets for individual activities implemented under a program and are generally prepared by the Program Team as the individual activities are identified Initial activity budgets can be prepared in the Set Up and Planning phase, with additional activity level budgeting continuing during implementation However, it is important that activity budgets be prepared and approved well in advance and in coordination with relevant operations staff to ensure sufficient time for implementation of logistics requirements

Additional Detailed Breakdown of the Proposal Budget.

Proposal budgets are generally not prepared at the level of detail required to assign budget responsibilities and monitor actual expenses against the budget Requirements in the Set Up and Planning phase include:

• Divide the budget between “program costs” and “support costs.” This division is used to assign separate budget responsibility for program costs and support costs

• Divide the budget among offices supporting and implementing the program Each budget line needs to be assigned to a specific office This includes program activity costs

• Show budget amounts by month for the first year of implementation, and annually for the remaining years of implementation

See “Creating Detailed Grant Implementation Budgets” document on the Digital Library62

Financial Coding of the Detailed Budget

After the detailed budget from the Program Identification and Design phase has been broken down to provide additional detail, the “coded” budget is created by assigning financial codes to each individual line of the budget How the budget is coded determines how expenses are classified in the financial software This level of detail provided by the coding determines what management reports can be provided to the Program Manager or PMO by Finance

The Finance Manager and the Program Manager or PMO should work together to determine the coding structure that will be used for the activity, task, or work package accounting code dimensions, called the “Activity” dimension

in Mercy Corps’ financial software A unique code should be assigned to each individual activity

For specific instructions on coding the budget see the Mercy Corps Coding Methodology 6 Development of a Coded Program Budget as a component of the PWP is a Minimum Standard for Program Management

at Mercy Corps.

Creating an Activity Budget

Activity budgets are detailed budgets with lines for each activity by the individual types of costs needed to be incurred for activity implementation Generally these are in alignment with the ‘work package’ levels of the Program Schedule or Work Breakdown Structure

Often, when a proposal budget is being created (see Chapter 3), program activity costs are shown as lump sum amounts with little, if any detail, on how they will actually be spent Activities budgets are a subset of these lump sum budget lines and provide the detail of what the estimated individual costs are to implement the activity

Creating an activity budget can occur during the Set Up and Planning phase, or can be an on-going action when the detailed costs related to implementing an individual activity are often not known at the start of a program Steps for creating an activity budget (these steps are done at the same time, instead of in a linear sequence) include:

1 Identify each step necessary to implement the program activity

2 Identify types of costs associated which each step

3 Identify number of units needed for the particular cost

4 Estimate unit cost

5 Create the budget

An example of steps to take in creation of an activity budget, see Annex 6: Example Process for Creating an Activity Budget

63 Mercy Corps Coding Methodology: https://mcdl.mercycorps.org/gsdl/docs/Mercy Corps Coding Methodology.pdf

Chapter 

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Mercy Corps Report Writing Guide

T

Program Performance Work Plan

T

Risk Register

T

Actual vs

Baseline Schedule Reports and Critical Path Tracking Sheet

T

Budget vs.

Actual reports and CPI

T

Procurement Master List &

Activity Budgets

T

Team Member Training Needs Assessment

T

Performance Management:

Instructions &

Documents

T

Field Administration Manual

T

Issues Log

T

Local Partnerships Guide

SLaunch

Program SManage

Organizational Capacities

SReport to

and Update Stakeholders SQuality

Assurance Checks of Descriptions of Deliverables

SPerform

Change Management

O O

O O

O

& Updated PWP

Program Team Performance Assessments

PDs &

Training Needs Assessment

BVAs with Projections

Kick-Off

Meeting

Minutes

Program Reports

S

Manage Human Resources

S

Orient Program Team

Manage Issues

S Process Step T Tool O Output or Product Minimum Standards are Red Italic

Carry out Cost Control Manage TeamTransitions

Implementation

Chapter 

The Program Implementation Phase